On this page
- Policy objective
- Policy statement
- Scope
- Authority
- Responsibility / further information
- Related documents
- Date of application
- Date for review or expiry
- RDIMS reference
- Keywords
1 Policy objective
1.1 This policy provides guidance for Marine Safety Inspectors (MSIs) on the assessment of an appropriate administrative monetary penalty for non-compliance with a relevant provision designated as a violation, under an Interim Order for the protection of North Atlantic Right Whales (NARW) or Southern Resident Killer Whales (SRKW), made by the Minister of Transport pursuant to s. 10.1(1) of the Canada Shipping Act, 2001, S.C. 2001, c. 26 (the Act).
2 Policy statement
2.1 A non-compliance may be proceeded with as a violation or as an offence in accordance with s.233 of the Act; the Minister may commence proceedings in respect of that non-compliance as a violation or recommend that it be proceeded with as an offence, but it may proceed only as one or the other.
2.2 Any person or vessel who fails to comply with an Interim Order commits a violation for the purposes of ss. 229 to 243 of the Act, as set out in s. 711 of the Budget Implementation Act, 2018, No. 2, S.C. 2018, c. 27, and may be issued an administrative monetary penalty ranging from $250 to $250,000.
2.3 Marine Safety and Security (MSS) will apply a gradual escalation of penalty amounts, which will conform to the prescribed range of penalties identified in the Interim Order and progress according to the severity of the non-compliance from the baseline dollar value, determined by the Minister for the specific non-compliance, to a maximum of $250,000 per incident.
2.4 To ensure that an administrative monetary penalty has the desired deterrent effect, MSS will analyze and assess the appropriate penalty amount within the range, according to factors such as the severity of the violation, whether the violation constitutes a separate violation for each day on which it is continued, the conduct, circumstances and consequences of the violation, the location where the violation occurred, the terms and aims of the relevant legislation and the participation, character and attitude of the non-compliant party.
2.5 If circumstances warrant, MSS may recommend that a person who contravenes an Interim Order be prosecuted for an offence, pursuant to s. 40.1 of the Act, and that person may be liable upon summary conviction, to a fine of not more than $1,000,000 or to imprisonment for a term of not more than 18 months, or to both;
2.6 To proceed with a recommendation for prosecution, MSS will prepare a charge proposal under the guidance of the Regional Enforcement Unit (REU) while keeping with the relevant procedures of the Marine Compliance and Enforcement Manual (RDIMS#10581646), and the Departmental Enforcement Standards.
2.7 The Domestic Vessel Regulatory Oversight & Boating Safety is responsible to coordinate, in collaboration with the Center for Enforcement Expertise (CEE) / Regional Enforcement Unite (REU) and other interested TC groups, the development of the Gradual Scale for AMP amounts for each Ministerial Interim orders for the protection of NARW and SRKW. These gradual scale for AMP amount can be found as Annexes attached to this policy document.
3 Scope
3.1 This policy applies solely to the application of administrative monetary penalties for contraventions of an Interim Order for the protection of NARW and SRKW.
4 Authority
4.1 This policy is authorized by the Marine Safety and Security Executive and is accordance with the objectives and authority of the Canada Shipping Act, 2001.
5 Responsibility / further information
5.1 MSS Regional Directors are responsible for the implementation of this policy.
5.2 The Executive Director, Domestic Vessel Regulatory Oversight & Boating Safety is accountable for the development, maintenance, and continuous improvement of the policy. Comments or queries related to this policy and its application should be addressed to:
Executive Director, Domestic Vessel Regulatory Oversight
AMSD
330 Sparks St
Ottawa ON K1A 0N8
6 Related documents
6.1 Canada Shipping Act (2001), section 10.1
6.2 Marine Compliance and Enforcement manual (RDIMS# 10581646)
6.3 Departmental Enforcement Standards
7 Date of application
7.1 This policy comes into effect on August 31, 2022
8 Date for review or expiry
8.1 This policy shall be reviewed 12 months after coming into force and at intervals not exceeding five years thereafter.
9 RDIMS reference
9.1 The English version of this document is saved in RDIMS under reference number 18884380. The applied naming convention is Publication – TP13585 – Tier I-Policy - DETERMINING THE PENALTY FOR NON-COMPLIANCE WITH INTERIM ORDERS MADE TO PROTECT NORTH ATLANTIC RIGHT WHALES (NARW) OR SOUTHERN RESIDENT KILLER WHALES (SRKW).
9.2 La version française du présent document est dans le SGDDI et porte le numéro de référence 18884431. La règle d’affectation des noms est PUBLICATION – TP 13585 – POLITIQUE – DÉTERMINER LA SANCTION POUR UNE NON-CONFORMITÉ AUX ARRÊTÉS D’URGENCE PRIS POUR PROTÉGER LES BALEINES NOIRES DE L’ATLANTIQUE NORD (BNAN) OU LES ÉPAULARDS RÉSIDENTS DU SUD (ERS).
10 Keywords
- Interim Order
- Administrative Monetary Penalties
- Summary Conviction
- North Atlantic Right Whales (NARW)
- Southern Resident Killer Whales (SRKW)
Annex I – Penalty range for the Interim Order for the Protection of North Atlantic Right Whales (Eubalaena glacialis) on the Gulf of St. Lawrence
Gradual scale AMP amounts
|
Category of Violator |
Gravity Classification of the Violation |
Baseline Penalty |
Maximum Penalty |
Aggravating Factor Level |
History of Non-Compliance (Since 2017) |
Actual or Potential Harm: Location and Whale Presence |
Economic Benefit: Duration of Violation |
|---|---|---|---|---|---|---|---|
|
Small Vessel less than 50m Range: $6,000 - $108,000 |
> 10 < 13 knots |
$6,000 |
$27,000 |
None/Low |
$0 |
$0 |
$0 |
|
Moderate |
$6,000 |
$2,250 |
$2,250 |
||||
|
High |
$12,000 |
$4,500 |
$4,500 |
||||
|
>= 13 < 16 knots |
$12,000 |
$54,000 |
None |
$0 |
$0 |
$0 |
|
|
Moderate |
$12,000 |
$4,500 |
$4,500 |
||||
|
High |
$24,000 |
$9,000 |
$9,000 |
||||
|
>= 16 < 19 knots |
$18,000 |
$81,000 |
None/Low |
$0 |
$0 |
$0 |
|
|
Moderate |
$18,000 |
$6,750 |
$6,750 |
||||
|
High |
$36,000 |
$13,500 |
$13,500 |
||||
|
=> 19 knots |
$24,000 |
$108,000 |
None/Low |
$0 |
$0 |
$0 |
|
|
Moderate |
$24,000 |
$9,000 |
$9,000 |
||||
|
High |
$48,000 |
$18,000 |
$18,000 |
||||
|
Medium-sized Vessel 50 - 100m Range: $6,000 - $202,500 |
> 10 < 13 knots |
$6,000 |
$27,000 |
None/Low |
$0 |
$0 |
$0 |
|
Moderate |
$6,000 |
$2,250 |
$2,250 |
||||
|
High |
$12,000 |
$4,500 |
$4,500 |
||||
|
>= 13 < 16 knots |
$15,000 |
$67,500 |
None/Low |
$0 |
$0 |
$0 |
|
|
Moderate |
$15,000 |
$5,625 |
$5,625 |
||||
|
High |
$30,000 |
$11,250 |
$11,250 |
||||
|
>= 16 < 19 knots |
$30,000 |
$135,000 |
None/Low |
$0 |
$0 |
$0 |
|
|
Moderate |
$30,000 |
$11,250 |
$11,250 |
||||
|
High |
$60,000 |
$22,500 |
$22,500 |
||||
|
=> 19 knots |
$45,000 |
$202,500 |
None/Low |
$0 |
$0 |
$0 |
|
|
Moderate |
$45,000 |
$16,875 |
$16,875 |
||||
|
High |
$90,000 |
$33,750 |
$33,750 |
||||
|
Large Vessel greater than 100m Range: $6,000 - $250,000 |
> 10 < 13 knots |
$6,000 |
$27,000 |
None/Low |
$0 |
$0 |
$0 |
|
Moderate |
$6,000 |
$2,250 |
$2,250 |
||||
|
High |
$12,000 |
$4,500 |
$4,500 |
||||
|
>= 13 < 16 knots |
$22,500 |
$101,250 |
None/Low |
$0 |
$0 |
$0 |
|
|
Moderate |
$22,500 |
$8,438 |
$8,438 |
||||
|
High |
$45,000 |
$16,875 |
$16,875 |
||||
|
>= 16 < 19 knots |
$45,000 |
$202,500 |
None/Low |
$0 |
$0 |
$0 |
|
|
Moderate |
$45,000 |
$16,875 |
$16,875 |
||||
|
High |
$90,000 |
$33,750 |
$33,750 |
||||
|
=> 19 knots |
$75,000 |
$250,000 |
None/Low |
$0 |
$0 |
$0 |
|
|
Moderate |
$50,000 |
$18,750 |
$18,750 |
||||
|
High |
$100,000 |
$37,500 |
$37,500 |
Notes
1. Description of the aggravating factors
|
Aggravating Factors |
Level |
Description |
|---|---|---|
|
History of Non-Compliance (Since 2017) (B) |
None/Low |
No previous non-compliance |
|
Medium |
One previous non-compliance |
|
|
High |
Two or more previous non-compliance |
|
|
Actual or Potential Harm: Location and Whale Presence (C) |
None/Low |
In Dynamic zone w/ no confirmed whale presence |
|
Medium |
In Dynamic zone w/ confirmed whale presence OR Static or Seasonal Sector |
|
|
High |
In Restricted Area |
|
|
Economic Benefit: Duration of Violation (D) |
None/Low |
Speeding for less than 30 minutes |
|
Medium |
Speeding for more than 30 minutes but less than 60 minutes |
|
|
High |
Speeding for more than 60 minutes |
2. The amount for each of the aggravating factors is added to the baseline penalty
AMP Amount = Baseline Penalty + (B) + (C) + (D)*
*To a maximum of $250,000
3. The penalty amount may be adjusted +/- 30% on recommendation of the enforcement officer, if mitigating or aggravating factors not already specific in the table are present. If they are; then the penalty amount should be adjusted with a comprehensive justification
4. The regional director of the region responsible for the enforcement action, may convene an Enforcement Advisory Board (EAB) to assess and recommend a penalty that is below or above the value of the table, with a comprehensive justification.
Annex 2 – Penalty range for the Interim Order for the Protection of the Killer Whale (Orcinus orca) in the Waters of Southern British Columbia, 2022
Gradual scale AMP amounts
|
Category of Violator |
Baseline Penalty |
Maximum Penalty |
Aggravating Factor Level |
History of Non-Compliance (Since 2019) (B) |
Actual or Potential Harm (C) |
Economic Benefit (D) |
|---|---|---|---|---|---|---|
|
Person operating a human powered vessel of any size Range: $250 - $1,125 |
$250 |
$1,125 |
None/Low |
$0 |
$0 |
$0 |
|
Moderate |
$250 |
$94 |
$94 |
|||
|
High |
$500 |
$188 |
$188 |
|||
|
Person operating a motorized vessel of any size for a purpose other than for a commercial enterprise or Pleasure Craft less than 12m Range: $500 - $2,250 |
$500 |
$2,250 |
None/Low |
$0 |
$0 |
$0 |
|
Moderate |
$500 |
$188 |
$188 |
|||
|
High |
$1,000 |
$375 |
$375 |
|||
|
Pleasure Craft 12m to less than 24m or Range: $1000 - $4,500 |
$1,000 |
$4,500 |
None/Low |
$0 |
$0 |
$0 |
|
Moderate |
$1,000 |
$375 |
$375 |
|||
|
High |
$2,000 |
$750 |
$750 |
|||
|
Person operating a motorized vessel of any size for a commercial enterprise Range: $2,000 - $9,000 |
$2,000 |
$9,000 |
None/Low |
$0 |
$0 |
$0 |
|
Moderate |
$2,000 |
$750 |
$750 |
|||
|
High |
$4,000 |
$1,500 |
$1,500 |
|||
|
All vessel 24m to less than 50m Range: $6,000 - $27,000 |
$6,000 |
$27,000 |
None/Low |
$0 |
$0 |
$0 |
|
Moderate |
$6,000 |
$2,250 |
$2,250 |
|||
|
High |
$12,000 |
$4,500 |
$4,500 |
|||
|
All vessel 50m to less than 100m Range: $12,000 - $54,000 |
$12,000 |
$54,000 |
None/Low |
$0 |
$0 |
$0 |
|
Moderate |
$12,000 |
$4,500 |
$4,500 |
|||
|
High |
$24,000 |
$9,000 |
$9,000 |
|||
|
All vessel 100m and greater Range: $24,000 - $100,000 |
$24,000 |
$100,000 |
None/Low |
$0 |
$0 |
$0 |
|
Moderate |
$24,000 |
$8,000 |
$8,000 |
|||
|
High |
$44,000 |
$16,000 |
$16,000 |
Notes
1. Description of the aggravating factors
|
Aggravating Factors |
Level |
Description |
|---|---|---|
|
History of Non-Compliance (Since 2019) (B) |
None |
No previous non-compliance |
|
Medium |
One previous non-compliance |
|
|
High |
Two or more previous non-compliance |
|
|
Actual or Potential Harm (C) |
None/Low |
Approach Distance Speed Limits |
|
Medium |
Approach Distance Speed Limits |
|
|
High |
Approach Distance Interim Sanctuary Zones (ISZ) Speed Limits |
|
|
Economic Benefit: Duration of Violation (D) |
None/Low |
No economic benefits (such as human powered vessels or pleasure craft) Speed Limits |
|
Medium |
For Persons and Vessels under 50m: Speed Limits |
|
|
For Vessels 50m or greater: |
||
|
High |
For Persons and Vessels under 50m: Speed Limits |
|
|
For Vessels 50m or greater: |
2. The amount for each of the aggravating factors is added to the baseline penalty
AMP Amount = Baseline Penalty + (B) + (C) + (D)
*To a maximum of $100,000
3. The penalty amount may be adjusted +/- 30% on recommendation of the enforcement officer, if mitigating or aggravating factors not already specific in the table are present. If they are; then the penalty amount should be adjusted with a comprehensive justification
4. The regional director of the region responsible for the enforcement action, may convene an Enforcement Advisory Board (EAB) to assess and recommend a penalty that is below or above the value of the table, with a comprehensive justification, up to a maximum of $250,000 per violation.
Annex 3 – Penalty range for the Interim Order for the Protection of North Atlantic Right Whales (Eubalaena glacialis) in and near the Shediac Valley
Gradual scale AMP amounts
|
Category of Violator |
Gravity Classification of the Violation |
Baseline Penalty (A) |
Maximum Penalty |
Aggravating Factor Level |
History of Non-Compliance (In Restricted Area) (B) |
Potential Damage by Prohibited Vessel (C) |
Duration of Violation (D) |
|---|---|---|---|---|---|---|---|
|
Small Vessel less than 50m Range: $6,000 - $96,000 |
<= 8 Knots* |
$3,000 |
$17,250 |
None/Low |
$0 |
$6,000 |
$0 |
|
Moderate |
$3,000 |
$1,125 |
|||||
|
High |
$6,000 |
$2,250 |
|||||
|
> 8 < 10 knots |
$6,000 |
$28,500 |
None/Low |
$0 |
$6,000 |
$0 |
|
|
Moderate |
$6,000 |
$2,250 |
|||||
|
High |
$12,000 |
$4,500 |
|||||
|
>= 10 < 13 knots |
$12,000 |
$51,000 |
None |
$0 |
$6,000 |
$0 |
|
|
Moderate |
$12,000 |
$4,500 |
|||||
|
High |
$24,000 |
$9,000 |
|||||
|
>= 13 < 16 knots |
$18,000 |
$73,500 |
None/Low |
$0 |
$6,000 |
$0 |
|
|
Moderate |
$18,000 |
$6,750 |
|||||
|
High |
$36,000 |
$13,500 |
|||||
|
=> 16 Knots |
$24,000 |
$96,000 |
None/Low |
$0 |
$6,000 |
$0 |
|
|
Moderate |
$24,000 |
$9,000 |
|||||
|
High |
$48,000 |
$18,000 |
|||||
|
Medium-sized Vessel 50 - 100m Range: $6,000 - $180,750 |
<= 8 Knots* |
$3,000 |
$23,250 |
None/Low |
$0 |
$12,000 |
$0 |
|
Moderate |
$3,000 |
$1,125 |
|||||
|
High |
$6,000 |
$2,250 |
|||||
|
> 8 < 10 knots |
$6,000 |
$34,500 |
None/Low |
$0 |
$12,000 |
$0 |
|
|
Moderate |
$6,000 |
$2,250 |
|||||
|
High |
$12,000 |
$4,500 |
|||||
|
>= 10 < 13 knots |
$15,000 |
$68,250 |
None/Low |
$0 |
$12,000 |
$0 |
|
|
Moderate |
$15,000 |
$5,625 |
|||||
|
High |
$30,000 |
$11,250 |
|||||
|
>= 13 < 16 knots |
$30,000 |
$124,500 |
None/Low |
$0 |
$12,000 |
$0 |
|
|
Moderate |
$30,000 |
$11,250 |
|||||
|
High |
$60,000 |
$22,500 |
|||||
|
=> 16 Knots |
$45,000 |
$180,750 |
None/Low |
$0 |
$12,000 |
$0 |
|
|
Moderate |
$45,000 |
$16,875 |
|||||
|
High |
$90,000 |
$33,750 |
|||||
|
Large Vessel greater than 100m Range: $6,000 - $250,000 |
<= 8 Knots* |
$3,000 |
$29,250 |
None/Low |
$0 |
$18,000 |
$0 |
|
Moderate |
$3,000 |
$1,125 |
|||||
|
High |
$6,000 |
$2,250 |
|||||
|
> 8 < 10 knots |
$6,000 |
$40,500 |
None/Low |
$0 |
$18,000 |
$0 |
|
|
Moderate |
$6,000 |
$2,250 |
|||||
|
High |
$12,000 |
$4,500 |
|||||
|
>= 10 < 13 knots |
$22,500 |
$102,375 |
None/Low |
$0 |
$18,000 |
$0 |
|
|
Moderate |
$22,500 |
$8,438 |
|||||
|
High |
$45,000 |
$16,875 |
|||||
|
>= 13 < 16 knots |
$45,000 |
$186,750 |
None/Low |
$0 |
$18,000 |
$0 |
|
|
Moderate |
$45,000 |
$16,875 |
|||||
|
High |
$90,000 |
$33,750 |
|||||
|
=> 16 Knots |
$75,000 |
$250,000 |
None/Low |
$0 |
$18,000 |
$0 |
|
|
Moderate |
$75,000 |
$28,125 |
|||||
|
High |
$150,000 |
$56,250 |
*Applies for Prohibited vessel only
Notes
1. Description of the aggravating factors
|
Aggravating Factors |
Level |
Description |
|---|---|---|
|
History of Non-Compliance (In Restricted Area) (B) |
None/Low |
No previous non-compliance |
|
Medium |
One previous non-compliance |
|
|
High |
Two or more previous non-compliance |
|
|
Potential Damage by Prohibited vessel (C) |
None/Low ($6,000) |
Small Vessel |
|
Medium ($12,000) |
Medium Size vessel |
|
|
High ($18,000) |
Large Vessel |
|
|
Duration of Violation (D) |
None/Low |
Duration of violation for less than 30 minutes |
|
Medium |
Duration of violation more than 30 minutes but less than 60 minutes |
|
|
High |
Duration of violation for more than 60 minutes |
2. The amount for each of the aggravating factors is added to the baseline penalty
AMP Amount for Exempted Vessel = Baseline Penalty + (B) + (D)*
AMP Amount for Prohibited Vessel = Baseline Penalty + (B) + (C) + (D)*
*To a maximum of $250,000
3. The penalty amount may be adjusted +/- 30% on recommendation of the enforcement officer, if mitigating or aggravating factors not already specific in the table are present. If they are; then the penalty amount should be adjusted with a comprehensive justification
4. The regional director of the region responsible for the enforcement action, may convene an Enforcement Advisory Board (EAB) to assess and recommend a penalty that is below or above the value of the table, with a comprehensive justification.
